Stacy SternportmanCRD Number: 1155563
Current Firm: Hilltop Securities Inc.
Stacy Sternportman (CRD# 1155563) is an Investment Advisor Representative working at Hilltop Securities Inc. in Beverly Hills, CA and has over 30 years of experience in the finance industry.
Jst Investment Consulting
Fried Asset Management, Inc.
|Southwest Securities, Inc.||Beverly Hills, CA||Dec 2008 - Current||8|
|M.l. Stern & Company Inc.||Beverly Hills, CA||Jun 1983 - Dec 2008||25|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||May 1986|
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.Reported Disclosure Event:
- Customer Dispute
Total Assets Under Management927MILLIONS
Total Number of Accounts3,659ACCOUNTS
Average Account Value$253,402
- A percentage of assets under your management
- Portfolio management for individuals and/or small businesses
- Selection of other advisers (including private fund managers)
- Publication of periodicals or newsletters
- Educational seminars/workshops
AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV